Albert S. Davis
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CRD#: 4923202
Albert Sullivan Davis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert Sullivan Davis, CFP® was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 2005. Albert had worked at 4 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Min. Asset: Under $50K
Serves: Business Owners & Entrepreneurs
Services Offered
Retirement Planning
Education Funding
Investment Management
Financial Planning
Tax Planning
Specializations
Middle Income Client Needs
Biography
Al S. Davis, the founder of Davis Financial Planning, has been in the financial services industry in western North Carolina since 2000 and has been recognized as a CERTIFIED FINANCIAL PLANNER™ since 2007. He began his financial services career working closely with small businesses and their owners as a small business client manager and Asheville senior banking executive for Bank of America. He then provided holistic financial planning and advice for affluent and high net worth clients as the private banking manager and wealth services team leader for SunTrust. He then managed all banking activities in western North Carolina as western region executive with Capital Bank.
Al S. Davis, CFP® is a member of the Alliance of Comprehensive Planners (former President), the National Association of Personal Financial Advisors, the Financial Planning Association, and the Land of Sky Estate Planning Council (former President).
Al is very active in the Asheville community having served on the board of directors of the Asheville Community Theatre, UNC Asheville Foundation, The Kiwanis Club of Asheville, and The Asheville Parks and Greenways Foundation. Al is also a long-time supporter and volunteer with the Asheville Area Chamber of Commerce, United Way of Asheville and Buncombe County, and Big Brothers Big Sisters of WNC.
Al graduated from Appalachian State University earning a degree in business administration in 1991 and earned an MBA from The University of Tennessee in 1993.
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of Business: Tilly, Inc.; Investment Related: Yes; Address: Raleigh, North Carolina; Nature: State-registered investment advisory firm; Position: Shareholder, 1.29451%; Start date: June 21, 2021; Approx. hours per month: 0; During securities trading: 0; Duties: Shareholder
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Past
July 2, 2024 - July 27, 2026
FOCUS PARTNERS WEALTH, LLC
RIA
CRD#: 159289
ASHEVILLE, NC
Past
May 5, 2023 - July 2, 2024
BUCKINGHAM STRATEGIC WEALTH, LLC
RIA
CRD#: 143323
ASHEVILLE, NC
Past
September 10, 2015 - May 5, 2023
DAVIS FINANCIAL PLANNING
RIA
CRD#: 154186
ASHEVILLE, NC
Past
September 1, 2005 - January 31, 2007
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ASHEVILLE, NC
Past
March 17, 2005 - January 31, 2007
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ASHEVILLE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH
CRD#: 159289 / SEC#: 801-72862
RIA
Registered Investment Advisory firm - (12/7/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH
CRD#: 159289 / SEC#: 801-72862
RIA
Registered Investment Advisory firm - (12/7/2011 Approved)Loading...
Contact information
Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105
Mailing Address
Phone number
(314) 725-0455
Established
Firm type
Fiscal year end
# of Employees
1,915
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 220,585 |
| AUM (Assets Under Management) | $ 181,862,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 12/20/2024 | ||
| 07/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
